WA Tailings Audit Guidelines

Tailings dam audit
– guide
November 2015
1 Adelaide Terrace, East Perth WA 6004

Postal address: Mineral House, 100 Plain Street, East Perth WA 6004
Telephone: (08) 9358 8002
ResourcesSafety@dmp.wa.gov.au
www.dmp.wa.gov.au
Contents
Introduction ............................................................................................................................ 2
1 Hazard rating .................................................................................................................... 3
2 Design and construction ................................................................................................. 5
3 Dam break assessment ................................................................................................... 6
4 Operation.......................................................................................................................... 7
5 Management ................................................................................................................... 10
6 Monitoring and auditing ................................................................................................ 11
7 Emergency plan ............................................................................................................. 13
8 Decommissioning .......................................................................................................... 15
Tailings dam audit – guide Page 1 of 15

Introduction
This document was reformatted in November 2015. At this time no material changes were made to the
content of the guide, which was originally published in June 2003 under the title Tailings dam HIF audit.
Note: The Safety Regulation System (SRS) has replaced the AXTAT system and all reporting is done
online through SRS.

1 Hazard rating
Point Standard Guideline
1.1 A hazard rating has been Intent: To verify compliance with the DME publication
assigned to the Tailings Storage Guidelines on the safe design and operating standards for
Facility. tailings storage Section 3 page 4 which requires
assessment using a recognised hazard rating system.
Personnel: Registered Manager, Senior Metallurgist or
person appointed to manage the TSF.
Method: View DEP Licence, interview personnel.
1.2 The hazard rating has been Intent: To verify compliance with the DME publication
derived by considering the Guidelines on the safe design and operating standards for
potential environmental impact tailings storage Section 3 page 4 which requires
in the event of either a controlled assessment using a recognised hazard rating system.
or uncontrolled escape of Personnel: Registered Manager, Senior Metallurgist or
material, seepage and/or abrupt person appointed to manage the TSF.
failure of the storage
Method: View DEP Licence application documentation,
embankment at any stage in its
interview personnel.
life.
potential impact in terms of tailings storage Section 3 page 4 which requires
safety on any nearby community assessment using a recognised hazard rating system.
infrastructure and/or mining Personnel: Registered Manager, Senior Metallurgist or
developments (including the person appointed to manage the TSF.
tailings storage operator) in the
event of either controlled or
uncontrolled escape of material,
seepage and/or abrupt failure of
the storage embankment at any
stage in its life.
potential impact in terms of tailings storage Section 3 page 4 which requires
economics on any nearby assessment using a recognised hazard rating system.
community infrastructure and/or Personnel: Registered Manager, Senior Metallurgist or
mining developments (including person appointed to manage the TSF.
the tailings storage operator) in
the event of either a controlled
or uncontrolled escape of
material, seepage and/or abrupt
failure of the storage
embankment at any stage in its
life.

1.5 Changes in the operation of the Intent: To verify compliance with the DME publication
TSF or the surrounding Guidelines on the safe design and operating standards for
infrastructure have resulted in a tailings storage Section 5.2 page 6 which requires re-
re-evaluation of the TSF hazard assessment after changes in or around the mining
rating. operation.
Method: View DEP Licence application documentation and
compare the current infrastructure and operational status
with that described, interview personnel.

2 Design and construction
2.1 The TSF has been designed in Intent: To verify compliance with the DME publication
accordance with the applicable Guidelines on the safe design and operating standards for
edition of the 'Guidelines on the tailings storage design criteria.
Safe Design and Operating Personnel: Registered Manager, Senior Metallurgist or
Standards for Tailings Storages' person appointed to manage the TSF.
issued by the Department of
Method: View Certificate of Compliance Tailings Storage
Minerals and Energy, Western
Facility Design issued by certifying registered engineer, (Ref
Australia.
to 'Guidelines on the Safe Design and Operating Standards
for Tailings Storages' Appendix B).
2.2 The TSF has been constructed Intent: To verify compliance with the DME publication
in accordance with the design. Guidelines on the safe design and operating standards for
tailings storage construction criteria.
Method: View Certificate of Compliance Tailings Storage
Facility Construction and Operation issued by certifying
registered engineer, (Ref to 'Guidelines on the Safe Design
and Operating Standards for Tailings Storages' Appendix C)
2.3 Annual operating audits are Intent: To verify compliance with the DME publication
submitted as required by the Guidelines on the safe design and operating standards for
'Guidelines on the safe design tailings storage annual reporting requirement.
and operating standards for Personnel: Registered Manager, Senior Metallurgist or
tailings storage'. person appointed to manage the TSF.
Method: View selection of annual reports submitted., (Ref
to 'Guidelines on the Safe Design and Operating Standards
for Tailings Storages' Appendix F2)
2.4 Changes from the original Intent: To verify that any changes in the original design that
design were documented during were incorporated during construction were documented.
construction. Personnel: Registered Manager, Senior Metallurgist or
Method: View construction records, inspect the TSF and
2.5 Records of construction quality Intent: To verify that quality control checks during
control checks are available. construction were documented.
Method: View construction records, interview personnel.

3 Dam break assessment
3.1 Category 1 TSF have a Intent: To verify that Category 1 TSF has a documented
documented 'Dam Break Risk 'Dam Break Risk Assessment'.
Assessment'. Personnel: Registered Manager, Senior Metallurgist or
Method: View 'Dam Break Risk Assessment
documentation, interview personnel.

4 Operation
4.1 There is a TSF Operating Plan. Intent: To verify that there is a documented Operating Plan
for the TSF to comply with the requirements of DME
publication Guidelines on the safe design and operating
standards for tailings storage Section 2.2.2.
Method: View TSF Operating Plan documentation,
interview personnel
4.2 The Operating Plan describes Intent: To verify that there is a documented Operating Plan
the deposition methodology. for the TSF that complies with the requirements of DME
standards for tailings storage Table 2 page 3.
the measures for pond control for the TSF that complies with the requirements of DME
and water management. publication Guidelines on the safe design and operating
4.4 The Operating Plan specifies the Intent: To verify that there is a documented Operating Plan
method of seepage control. for the TSF that complies with the requirements of DME
4.5 The Operating Plan specifies the Intent: To verify that there is a documented Operating Plan
pipeline management system. for the TSF that complies with the requirements of DME

the TSF geometry at all stages for the TSF that complies with the requirements of DME
of its life. publication Guidelines on the safe design and operating
4.7 The Operating Plan includes Intent: To verify that there is provision to control dust
provision for dust control. emissions from the TSF.
4.8 Modifications to the Operating Intent: To verify that changes to the TSF Operating Plan
Plan are documented when they are documented when they occur.
occur. Personnel: Registered Manager, Senior Metallurgist or
4.9 The actual operating Intent: To verify that the actual operating characteristics of
characteristics of the TSF have the TSF have been assessed against the original design
been assessed against the assumptions.
original design assumptions. Personnel: Registered Manager, Senior Metallurgist or
Method: View TSF Operating Plan documentation, Annual
Reports etc, interview personnel.
4.10 Annual geotechnical and Intent: To verify compliance with Guidelines on the safe
engineering reports are design and operating standards for tailings storage reporting
submitted as outlined in the criteria.
'Guidelines on the safe design Personnel: Registered Manager, Senior Metallurgist or
and operating standards for person appointed to manage the TSF.
tailings storage'.
Method: View Annual Geotechnical and Engineering
Reports (refer to Guidelines on the safe design and
operating standards for tailings storage Table 2 page 7).
4.11 The recommendations included Intent: To verify compliance with Guidelines on the safe
in the annual geotechnical and design and operating standards for tailings storage reporting
engineering reports have been criteria.
acted upon. Personnel: Registered Manager, Senior Metallurgist or
Method: View a selection of the Annual Geotechnical and
Engineering Reports (Ref to 'Guidelines on the Safe Design
and Operating Standards for Tailings Storages' Table 2
page 7). Interview personnel.

4.12 The TSF site is secured against Intent: To verify that there is provision to control access to
access by unauthorised the TSF.
personnel. Personnel: Registered Manager, Senior Metallurgist or
Method: View the TSF, interview personnel.
4.13 Roads on and around the TSF Intent: To verify that the roads on the TSF are suitable for
are designed for the equipment the equipment using them.
using them. Personnel: Registered Manager, Senior Metallurgist or
Method: View the TSF and equipment used there, interview
personnel.
4.14 The TSF roads are demarcated Intent: To verify that there is provision to control traffic on
by windrows, railings or other the TSF.
such indicators of safe travel Personnel: Registered Manager, Senior Metallurgist or
limits. person appointed to manage the TSF.
4.15 The TSF roads are controlled by Intent: To verify that there is provision to control traffic on
suitable signage indicating the TSF.
speed limits, direction etc. Personnel: Registered Manager, Senior Metallurgist or
4.16 Traffic control measures on the Intent: To verify that there is provision to control traffic at
TSF are effective at night. night on the TSF.
4.17 Where there is deep water in a Intent: To verify that there is provision lifesaving equipment
TSF, rescue equipment is where the TSF has deep water in it.
provided. Personnel: Registered Manager, Senior Metallurgist or

5 Management
5.1 A responsible person has been Intent: To verify that a responsible person has been
appointed in writing to manage appointed under MSIA Section 44 to manage the TSF.
the TSF. Personnel: Registered Manager, Senior Metallurgist or
Method: View the MSIA Section 44 appointment, interview
personnel.
5.2 Individual roles and Intent: To verify that operators on the TSF have full job
responsibilities have been descriptions.
documented for operators Personnel: Registered Manager, Senior Metallurgist or
working on the TSF. person appointed to manage the TSF, and operators.
Method: View a selection of Position Descriptions and work
procedures for TSF operators, interview personnel.
5.3 The TSF Operating Plan is Intent: To verify that there the documented Operating Plan
available to the operators. for the TSF that complies with the requirements of DME
standards for tailings storage Table 2 page 3 is available to
persons working on the TSF.
person appointed to manage the TSF, and operators.
Method: Establish that the TSF Operating Plan is available,
5.4 There is a training program in Intent: To verify that there is a documented Training
place for TSF operators. Program for TSF operators.
person appointed to manage the TSF and operators.
Method: View TSF operator Training Program
documentation, interview personnel
5.5 There is an incident reporting Intent: To verify that there is an incident reporting system in
procedure for the TSF. place for the TSF that complies with the requirements of
DME publication Guidelines on the safe design and
operating standards for tailings storage Section 2.2.6 page
5.
Method: View TSF incident reporting documentation,

6 Monitoring and auditing
6.1 Routine inspections of the TSF Intent: To verify that there is a routine inspection schedule
are carried out on each shift. for the TSF.
Method: View TSF inspection records/ shift logs etc,
6.2 The findings of the routine Intent: To verify that the findings of the routine inspections
inspections are recorded. of the TSF are recorded.
Method: View TSF inspection records/ shift logs etc,
6.3 Operating audits are conducted Intent: To verify that Operating Audits are conducted for the
every year for Category 1 TSFs TSF in compliance with the requirements of DME
and every 2 years for Category publication Guidelines on the safe design and operating
2 TSFs. standards for tailings storage Table 3 page 4.
Method: View a selection of TSF Annual Operating Audit
documentation, interview personnel.
6.4 Groundwater monitoring is Intent: To verify that groundwater monitoring is carried out
carried out as per the DEP as per the DEP licence for the TSF in compliance with the
licence for the TSF. requirements of DME publication Guidelines on the safe
design and operating standards for tailings storage Table 3
page 4.
Method: View DEP Licence and a selection of groundwater
monitoring reports, interview personnel.
6.5 The monitoring equipment is Intent: To verify that the monitoring equipment is kept in
kept in calibration. calibration.
Method: View calibration reports for the monitoring
equipment, interview personnel.
6.6 The monitoring frequency Intent: To verify that the monitoring regime complies with
complies with licence conditions. DEP licence.
Method: View DEP Licence conditions and monitoring
schedule, interview personnel.

6.7 The monitoring results are Intent: To verify that the monitoring results are documented.
documented.
Method: View monitoring reports, interview personnel.
6.8 The action to be taken when Intent: To verify that the action to be taken when monitoring
monitoring results fall outside results fall outside those expected is documented.
the expected range is specified.
Method: View the monitoring documentation, interview
personnel.
6.9 A permanent survey monitoring Intent: To verify that a permanent survey grid is in place for
grid is in place for the TSF. the TSF.
person appointed to manage the TSF and surveyor.
Method: Inspect the TSF and survey plans, interview
personnel.
6.10 There is a dam stability Intent: To verify that a dam stability monitoring program is
monitoring program in place. in place.
Method: View dam stability monitoring reports, interview
personnel.
6.11 The results of the dam stability Intent: To verify that a dam stability monitoring program is
monitoring program are documented.
documented.
Method: View dam stability monitoring reports, interview
personnel.
6.12 The action to be taken is Intent: To verify that the action to be taken when monitoring
specified should the dam results fall outside those expected is documented.
stability monitoring results fall
outside the expected range.
Method: View the monitoring documentation, interview
personnel.

7 Emergency plan
7.1 There is a specific Emergency Intent: To verify that there is a documented Emergency
Plan for incidents that may occur Plan for the TSF that complies with the requirements of
at the TSF. DME publication Guidelines on the safe design and
operating standards for tailings storage Section 2.2.5 page
5.
Method: View TSF Emergency Plan documentation,
7.2 The TSF Emergency Plan Intent: To verify that there is a documented Emergency
contains details of any Plan for the TSF that complies with the requirements of
evacuation procedure that may DME publication Guidelines on the safe design and
be required in the event of operating standards for tailings storage Section 2.2.5 page
failure, or impending failure of 5.
the TSF. Personnel: Registered Manager, Senior Metallurgist or
contains a diagram indicating Plan for the TSF that complies with the requirements of
the whereabouts of a muster DME publication Guidelines on the safe design and
point. operating standards for tailings storage Section 2.2.5 page
5.
contains a list of names and Plan for the TSF that complies with the requirements of
residential addresses of all DME publication Guidelines on the safe design and
nominated emergency response operating standards for tailings storage Section 2.2.5 page
personnel and their 5.
home/emergency contact Personnel: Registered Manager, Senior Metallurgist or
telephone numbers. person appointed to manage the TSF.
contains a list of the telephone Plan for the TSF that complies with the requirements of
numbers of the local/regional DME publication Guidelines on the safe design and
emergency services (fire, operating standards for tailings storage Section 2.2.5 page
ambulance, police etc.) 5.

contains a list of all personnel Plan for the TSF that complies with the requirements of
that are associated with DME publication Guidelines on the safe design and
operation of the TSF and operating standards for tailings storage Section 2.2.5 page
evidence that they have 5.
attended and understood all Personnel: Registered Manager, Senior Metallurgist or
relevant induction/safety person appointed to manage the TSF and operators.
procedures.
Method: View TSF Emergency Plan training documentation
and records, interview personnel.

8 Decommissioning
8.1 A Decommissioning Plan has Intent: To verify that there is a documented

been drawn up for the TSF. Decommissioning Plan for the TSF.
Method: View TSF Decommissioning Plan documentation,
8.2 Roles and responsibilities have Intent: To verify that there are documented roles and
been documented for key responsibilities for key personnel involved in the
personnel involved in the decommissioning of the TSF.
decommissioning process. Personnel: Registered Manager, Senior Metallurgist or
8.3 A hazard analysis has been Intent: To verify that there is a documented hazard analysis
conducted for the long term for the long term stability of the TSF after decommissioning.
stability of the TSF structure Personnel: Registered Manager, Senior Metallurgist or
post decommissioning. person appointed to manage the TSF.
8.4 A risk assessment has been Intent: To verify that there is a documented risk assessment
conducted for the long term for the long term stability of the TSF after decommissioning.
stability of the TSF structure Personnel: Registered Manager, Senior Metallurgist or
post decommissioning. person appointed to manage the TSF.
8.5 A rehabilitation plan is in place Intent: To verify that there is a rehabilitation plan for the
for the decommissioned TSF TSF after decommissioning.
structure. Personnel: Registered Manager, Senior Metallurgist or
8.6 Where operational changes Intent: To verify that where there has been any operational
have occurred the changes the Decommissioning Plan has been revised to
Decommissioning Plan has take the changes into account.
been revised to take the Personnel: Registered Manager, Senior Metallurgist or
changes into account. person appointed to manage the TSF.

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Tailings dam audit

1 Adelaide Terrace, East Perth WA 6004

1 Hazard rating .................................................................................................................... 3

2 Design and construction ................................................................................................. 5

3 Dam break assessment ................................................................................................... 6

6 Monitoring and auditing ................................................................................................ 11

7 Emergency plan ............................................................................................................. 13

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